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Form ADV Part 3 Client Relationship Summary Date: 06/02/2020Item 1: Introduction COLTON GROOVE FINANCIAL ADVISORS, LLC is an investment advisor registered with the Securities and Exchange Commission
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How to fill out form adv part 3
How to fill out form adv part 3
01
To fill out Form ADV Part 3, follow these steps:
02
Start by providing your basic information, such as the name of your firm, its address, phone number, and email.
03
Next, fill out the section on your firm's ownership, including information about any persons or entities with a financial interest in the firm.
04
Proceed to the section on your firm's control persons, which includes details about individuals who have the authority to make decisions on behalf of your firm.
05
Provide information about the types of advisory services your firm offers and the approximate amount of client assets under your management.
06
Indicate any regulatory or disciplinary events that have occurred within the past 10 years, including any legal or disciplinary actions against your firm or its employees.
07
Fill out the section on your firm's fees and compensation, including details about how you charge clients and any additional compensation arrangements.
08
Finally, sign and date the form to certify its accuracy and completeness.
09
Remember to review the instructions provided by the Securities and Exchange Commission (SEC) for Form ADV Part 3 to ensure you are providing all the required information.
Who needs form adv part 3?
01
Form ADV Part 3 is required by investment advisers who are registered with the Securities and Exchange Commission (SEC) as a part of their ongoing reporting obligations.
02
This form is specifically designed for firms that offer individualized investment advice to retail investors.
03
Investment advisers whose assets under management meet a certain threshold are generally required to register with the SEC and file Form ADV Part 3.
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What is form adv part 3?
Form ADV Part 3 is a disclosure document that investment advisers must provide to clients, which includes information about the adviser's services, fees, and any potential conflicts of interest.
Who is required to file form adv part 3?
Investment advisers registered with the Securities and Exchange Commission (SEC) or state regulators are required to file Form ADV Part 3.
How to fill out form adv part 3?
To fill out Form ADV Part 3, advisers must collect the necessary information about their services, fees, disciplinary history, and conflicts of interest, then complete the online form through the Investment Adviser Registration Depository (IARD).
What is the purpose of form adv part 3?
The purpose of Form ADV Part 3 is to provide clients with clear and concise information about an investment adviser's offerings, enabling them to make informed decisions.
What information must be reported on form adv part 3?
Form ADV Part 3 requires the disclosure of information including the adviser's services, fees, types of clients, investment strategies, and any potential conflicts of interest.
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